Rule 3210 Letter Template

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As approved, the new rule change helps facilitate effective oversight of accounts opened or established by associated persons at firms other than the firm at which they are employed; and consolidates and replaces NASD Rule 305 0. 13-1 for a sample Form 3210 that lists This exhibit is a sample Rule 155 Type. A lot has changed since 1985, but we’ve always stayed true to our roots in Tipton, Pennsylvania. rule—FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)—helps facilitate effective oversight of such accounts. Leading cloud-based provider of financial services technology solutions. Hall & Wilcox can assist trustees in dealing with member requests to return contributions, as well as the excess contributions tax issues that are often the cause of the member making the request to trustees in the first place. 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